Documents

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., Comment Letter of Freeman Capital Management (July 24, 2022) (“Freeman Capital Management Comment Letter”); Invesco Comment Letter; T. … Morgan Asset Management Comment Letter; Capital Group Comment Letter; MFS Comment Letter. 399 See, e.g., J.P. Morgan Asset Management Comment Letter.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm and Engagement Metrics and Related Amendments to PCAOB Standards

Federal Register · Notice · Dec 11, 2024

This element is discussed further below. 24  QC 1000.53e. … [FR Doc. 2024-28142 Filed 12-10-24; 8:45 am] BILLING CODE 8011-01-P

Investment Adviser Advertisements; Compensation for Solicitations

Federal Register · Proposed Rule · Dec 10, 2019

Feb. 24, 2005) 16. Citigroup Global Markets Inc. (pub. avail. Oct. 31, 2003) 17. Citigroup Inc. (pub. avail. Oct. 22, 2010) 18. Credit Suisse First Boston Corp. (pub. avail. Aug. 24, 2000) 19. … Sept. 24, 2004) 22. Deutsche Bank Securities Inc. (pub. avail. June 9, 2009) 23. Dougherty & Company LLC (pub. avail. July 3, 2003) 24. Dougherty & Company LLC (pub. avail. Mar. 21, 2003) 25.

Market Data Infrastructure

Federal Register · Proposed Rule · Mar 24, 2020

24. Should the Commission amend Rule 605 in light of the proposed round lot definition? … Lazo, Managing Director and Associate General Counsel, SIFMA, dated Oct. 24, 2018 (“SIFMA Letter”) (attachment to letter).

Conformed to Federal Register version

Agency decision · Agency decision

See infra section XIII.A. 24 2. … See CFTC No Action Letter 17-17 (Mar. 24, 2017) (issued by the CFTC’s Division of Market Oversight).

Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Proposed Rule · May 23, 2013

Information Sharing Under Sections 21 and 24 of the Exchange Act 2. Comment Summary 3. … 23   See Section VI.C, infra. 24   Id.

Transfer Agent Rules

Federal Register · Proposed Rule · Sep 4, 2026

See Form TA-2 Question 5(a). 399   See Form TA-2 Item 4(a). 400   See Form TA-2 Item 4(b). 401   See infra Section V.B.7. … No. 14215 (Feb. 18, 2025), 90 FR 10447, 10448 (Feb. 24, 2025) (requiring independent agencies to comply with E.O. No. 12866).

Conformed to Federal Register Version

Agency decision · Agency decision

Pursuant to Section 24(f)(2) of the Investment Company Act [15 U.S.C. 80a-24(f)(2)], open-end funds and UITs must file information about the computation of these registration fees and other information … See Section II.A.4. 77 24 location requirements for Forms N-2 and N-14.

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers

Federal Register · Proposed Rule · May 2, 2014

This release refers to these amendments as the recently adopted amendments or recently adopted requirements of Rule 17a-5. 399   See id. … Liquidity stress test 17a-3(a)(24) 18a-5(a)(11).

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Proposed Rule · Dec 28, 2015

Id., at 24. … S7-24-15.

Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release

Federal Register · Proposed Rule · Oct 15, 2015

at paragraphs 13 and 24. 2. … See, e.g., Jessica Toonkel, Fund Boards, Management Go on High Alert Around Bond Liquidity, Reuters (Nov. 24, 2014), available at http://www.reuters.com/article/2014/11/24/us-funds-bondholders-alert-idUSKCN0J80AD20141124

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers

Federal Register · Rule · Dec 16, 2019

Report Part III, which before these amendments was the cover page to be attached to a broker-dealer's annual reports, to accommodate its use by OTC derivatives dealers and stand-alone SBSDs and MSBSPs. 399 … proposal to improve the clarity of FOCUS Report Part III. 403 The Commission is also making several non-substantive changes to the checklist on the second page of FOCUS Report Part III. 404 399

Consolidated Audit Trail

Federal Register · Rule · Aug 1, 2012

24   See Rule 613(a)(1)(xii); Section III.C.2.a., infra … 398   See Rule 613(c)(7)(i)(B); Rule 613(c)(7)(ii)(A); Rule 613(c)(7)(iii)(A); Rule 613(c)(7)(iv)(A); Rule 613(c)(7)(v)(A); Rule 613(c)(7)(vi)(C); and Rule 613(j)(1). 399   See

Securities Offering Reform

Federal Register · Rule · Aug 3, 2005

Spencer (available September 24, 1982). … (a) Except as provided in section 24(f) of the Investment Company Act of 1940 (15 U.S.C. 80a-24(f)) and in paragraph (b) of this section, where a registration statement is already in effect, the registration

Asset-Backed Securities Disclosure and Registration

Federal Register · Rule · Sep 24, 2014

See, e.g., proposed Items 2(e)(44) through 2(e)(46) of Schedule L-D. 399   See letters from ASF I and Wells Fargo I. 400   See new Items 1(m)(24)(i) Post-modification interest … rate step indicator; 1(m)(24)(ii) Post-modification step interest rate; 1(m)(24)(iii) Post-modification step date; 1(m)(24)(iv) Post-modification—step principal and interest; and 1(m)(24)(v) Post-modification—number

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Rule · Feb 26, 2024

398  Letters from ABA, Goodwin, Ropes & Gray. 399  Letter from Skadden. 6. … See supra note 399 and accompanying text.

Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting

Federal Register · Proposed Rule · Dec 16, 2022

24. Should we amend the definition of moderately liquid investment, as proposed? … Total 9,035 5,510 978 8,624,210 24 In contrast, high yield bonds primarily have T+2 settlement.

Amendments to Regulation SHO

Federal Register · Rule · Mar 10, 2010

Vulpi, dated Sept. 24, 2008; letter from Maureen Christensen, dated Oct. 9, 2008; letter from Peter B. … (discussing short sale orders marked “short exempt”). 398   See infra Section III.B.; see also Rules 201(c) and 201(d) As discussed in the Proposal, 399 a trading center must

Credit Risk Retention

Federal Register · Rule · Dec 24, 2014

Compliance with the rule with regard to all other classes of asset-backed securities is required beginning December 24, 2016. … and is undertaking a project pursuant to HUD's HOME Investment Partnership Program, pursuant to 24 CFR 92.300(a)

Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Proposed Rule · Jul 17, 2018

Question 24. … See 12 U.S.C 24 (Seventh).